The definition of control/ownership provided under Notice PIH 2012‐32, REV‐3 (listed above) is used specifically to dermine whether a PHA retains control over a project for purpsoes of HUD’s requirement for ownership or control of the covered project under RAD. For purposes of determining whether an independent entity will perform certain functions for the project, the definitnion of PHA‐owned under Notice PIH 2017‐21 is used. This is the same definition used for standard PBV units. In some cases, a project may meet the RAD definition of ownership or control, but may not be considered PHA‐owned for purposes of requiring an independent entity.
The independent entity that performs these program services may be the unit of general local government for the PHA jurisdiction (unless the PHA is itself the unit of general local government or an agency of such government), or another HUD‐approved public or private independent entity.
The PHA may compensate the independent entity from PHA ongoing administrative fee income (including amounts credited to the administrative fee reserve). The PHA may not use other program receipts to compensate the independent entity for its services. The PHA, and the independent entity, may not charge the family any fee for the services provided by the independent entity.
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© Copyright 2017 Nan McKay & Associates, Inc. HACSB Admin plan 08/01/2018 Unlimited copies may be made for internal use. Page 18‐13 18‐II.D. SUBSIDY LAYERING REQUIREMENTS [Notice PIH 2012‐32, REV‐3] In the case of a PHA that is converting all of its ACC units, there is no restriction on the amount of public housing funds that may be contributed to the covered project at closing; the PHA may convey all program funds to the covered projects. In order to cover the cost of administrative activities required to terminate the ACC, once it no longer has units under the ACC and has no plans to develop additional public housing, the PHA may:
Designate that a reserve associated with the project be available to fund any public housing closeout costs (such as an operating deficit reserve or a specific PHA close‐out reserve). Any funds not needed for public housing close‐out costs would remain in such reserve or may be transferred to another reserve associated with the project (such as the replacement reserve). Thereafter, these funds may be used at the project pursuant to the authorized use of the applicable reserve; or
Retain funds under the public housing program for this purpose. However, HUD will recapture any public housing funds that a PHA does not expend for closeout costs.
In the case where the PHA will continue to maintain other units in its inventory under a public housing ACC, a contribution of operating funds to the covered project that exceeds the average amount the project has held in operating reserves over the past three years will trigger a subsidy layering review under 24 CFR 4.13. Similarly, any contribution of capital funds, including Replacement Housing Factor (RHF) or Demolition Disposition Transitional Funding (DDTF), will trigger a subsidy layering review. Notwithstanding the subsidy layering review, PHAs should be mindful of how the capital funds or operating reserves used in the financing of its RAD properties may impact the physical and financial health of properties that will remain in its public housing inventory.
In addition, following execution of the HAP contract, PHAs are authorized to use operating and capital funds to make HAP payments for the remainder of the first calendar year in which the HAP contract is effective. Otherwise, a PHA may not contribute public housing program funds to the covered project unless such funding has been identified in the approved financing plan and included in the approved “sources and uses” attached to the RCC. 18‐II.E. PBV PERCENTAGE LIMITATION [Notice PIH 2012‐32, REV‐3] Covered projects do not count against the maximum amount of assistance a PHA may utilize for the PBV program, which under the standard PBV program is set at 20 percent of the authorized units allocated to a PHA under the HCV program. To implement this provision, HUD is waiving section 8(o)(13)(B) of the 1937 Act as well as 24 CFR 983.6.
There is no cap on the number of units that may receive PBV assistance in a project. 636
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© Copyright 2017 Nan McKay & Associates, Inc. HACSB Admin plan 08/01/2018 Unlimited copies may be made for internal use. Page 18‐14 18‐II.F. SITE SELECTION STANDARDS [Notice PIH 2012‐32, REV‐3; Notice PIH 2016‐17] Site selection requirements set forth in 24 CFR 983.57 apply to RAD PBV, with the exception of 983.57(b)(1) and (c)(2). HUD waives the provisions regarding deconcentration of poverty and expanding housing and economic opportunity for existing housing sites.
HUD will conduct a front‐end civil rights review of the PHA’s proposed site in certain circumstances. For RAD PBV conversions that involve new construction located in an area of minority concentration (whether on the existing public housing site or on a new site) HUD will determine whether it meets one of the exceptions that would allow for new construction in an area of minority concentration.
The PHA must ensure that its RAD PBV conversion, including any associated new construction, is consistent with its certification to affirmatively further fair housing and complies with civil rights laws.
18‐II.G. ENVIRONMENTAL REVIEW [Notice PIH 2012‐32, REV‐3] HUD cannot approve an applicant’s financing plan submission unless and until the required environmental review has been completed for the applicant’s proposed conversion project and found to meet environmental review requirements. Environmental documents must be submitted as part of the financing plan. HUD will not issue a RAD Conversion Commitment (RCC) if the project plan does not meet the environmental review requirements described in Attachment 1A of Notice PIH 2012‐32, REV‐3.
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© Copyright 2017 Nan McKay & Associates, Inc. HACSB Admin plan 08/01/2018 Unlimited copies may be made for internal use. Page 18‐15 PART III: DWELLING UNITS
18‐III.A. OVERVIEW
This part identifies the special housing quality standards that apply to the RAD PBV program, housing accessibility for persons with disabilities, and special procedures for conducting housing quality standards inspections.
18‐III.B. HOUSING QUALITY STANDARDS [24 CFR 983.101]
The housing quality standards (HQS) for the tenant‐based program generally apply to the PBV program. HQS requirements for shared housing, manufactured home space rental, and the homeownership option do not apply because these housing types are not assisted under the PBV program.
The physical condition standards at 24 CFR 5.703 do not apply to the PBV program.
Lead‐based Paint [24 CFR 983.101(c)]
The lead‐based paint requirements for the tenant‐based voucher program do not apply to the PBV program. Instead, The Lead‐based Paint Poisoning Prevention Act (42 U.S.C. 4821‐4846), the Residential Lead‐based Paint Hazard Reduction Act of 1992 (42 U.S.C. 4851‐4856), and implementing regulations at 24 CFR part 35, subparts A, B, H, and R, apply to the PBV program. 18‐III.C. HOUSING ACCESSIBILITY FOR PERSONS WITH DISABILITIES The housing must comply with program accessibility requirements of section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794) and implementing regulations at 24 CFR part 8. The PHA must ensure that the percentage of accessible dwelling units complies with the requirements of section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794), as implemented by HUD's regulations at 24 CFR 8, subpart C.
Housing first occupied after March 13, 1991, must comply with design and construction requirements of the Fair Housing Amendments Act of 1988 and implementing regulations at 24 CFR 100.205, as applicable. (24 CFR 983.102)
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© Copyright 2017 Nan McKay & Associates, Inc. HACSB Admin plan 08/01/2018 Unlimited copies may be made for internal use. Page 18‐16 18‐III.D. INSPECTING UNITS
Initial Inspection [Notice PIH 2012‐32, REV‐3]
Under RAD, all units must meet HQS no later than the date of completion of the work as indicated in the RCC.
Turnover Inspections [24 CFR 983.103(c), FR Notice 1/18/17, and Notice PIH 2017‐20] Before providing assistance to a new family in a contract unit, the PHA must inspect the unit.
The PHA may not provide assistance on behalf of the family until the unit fully complies with HQS, unless the PHA has adopted a policy to enter into a HAP contract for units that fail the initial HQS inspection as a result of only non‐life‐threatening conditions or if the unit passed an alternative inspection.
HACSB Policy
The PHA will not provide assistance in turnover units until the unit fully complies with HQS.
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Annual/Biennial Inspections [24 CFR 983.103(d); FR Notice 6/25/14] At least once every 24 months during the term of the HAP contract, the PHA must inspect a random sample consisting of at least 20 percent of the contract units in each building, to determine if the contract units and the premises are maintained in accordance with HQS.
Turnover inspections are not counted toward meeting this inspection requirement.
HACSB Policy
The PHA will inspect on an biennial basis 100 percent of the contract units in each building to determine if the contract units and the premises are maintained in accordance with HQS. Inspections will be completed in accordance with the policies for the tenant‐based program in Chapter 8.
If more than 20 percent of the sample of inspected contract units in a building fail the initial inspection, the PHA must reinspect 100 percent of the contract units in the building.
Other Inspections [24 CFR 983.103(e)]
The PHA must inspect contract units whenever needed to determine that the contract units comply with HQS and that the owner is providing maintenance, utilities, and other services in accordance with the HAP contract. The PHA must take into account complaints and any other information coming to its attention in scheduling inspections.
The PHA must conduct follow‐up inspections needed to determine if the owner (or, if applicable, the family) has corrected an HQS violation, and must conduct inspections to determine the basis for exercise of contractual and other remedies for owner or family violation of HQS.
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© Copyright 2017 Nan McKay & Associates, Inc. HACSB Admin plan 08/01/2018 Unlimited copies may be made for internal use. Page 18‐17 In conducting PHA supervisory quality control HQS inspections, the PHA should include a representative sample of both tenant‐based and project‐based units.
Inspecting PHA‐Owned Units [24 CFR 983.103(f)]
In the case of PHA‐owned units, the inspections must be performed by an independent agency designated by the PHA and approved by HUD. The independent entity must furnish a copy of each inspection report to the PHA and to the HUD field office where the project is located. The PHA must take all necessary actions in response to inspection reports from the independent agency, including exercise of contractual remedies for violation of the HAP contract by the PHA‐ owner.
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© Copyright 2017 Nan McKay & Associates, Inc. HACSB Admin plan 08/01/2018 Unlimited copies may be made for internal use. Page 18‐18 PART IV: HOUSING ASSISTANCE PAYMENTS (HAP) CONTRACT
18‐IV.A. OVERVIEW
Public housing projects converting under RAD do not employ the PBV Agreement to Enter into a Housing Assistance Payments (AHAP) contract. Instead, following the execution of all requirements contained in the Commitment to Enter into a HAP (CHAP) contract and the RAD Conversion Commitment (RCC), a project is converted immediately to the RAD PBV HAP contract following the closing of any construction financing. Owners of public housing projects converted to PBV assistance via RAD enter into a HAP contract with the PHA that will administer the PBV assistance. Units assisted under a RAD PBV HAP contract must be subject to long‐term, renewable use and affordability restrictions. 18‐IV.B. HAP CONTRACT REQUIREMENTS
Contract Information [PBV Quick Reference Guide (10/14)] The RAD PBV program uses the PBV HAP contract for new construction or rehabilitated housing (Form HUD‐52530A), as modified by the RAD rider (Form HUD‐52621). The distinction between “existing housing” and “rehabilitated and newly constructed housing” is overridden by RAD requirements. The RAD rider must be attached to the PBV HAP contract and effectuates the conversion of public housing to PBV under RAD PBV. The project must also have an initial RAD use agreement. All public housing RAD conversion properties financed with LIHTC are also required to include an LIHTC rider.
Execution and Effective date of the HAP Contract [RADBlast! 7/11/16] RAD PBV projects do not employ an Agreement to Enter into a Housing Assistance Payments (AHAP) contract like in the standard PBV program. Rather, when the conditions of the CHAP and the RCC are met and the conversion has closed, the PHA executes the HAP contract. Project owners may select the effective date of the HAP contract as the first day of either of the two months following the completed closing.
Term of HAP Contract [Notice PIH 2012‐32, REV‐3]
The initial term of the HAP contract may not be for less than 15 years, and may be for a term of up to 20 years upon request of the owner and with approval of the administering voucher agency. Upon expiration of the initial term of the contract, and upon each renewal term of the contract, the owner must accept each offer to renew the contract, subject to the terms and conditions applicable at the time of each offer, and further subject to the availability of appropriations for each year of each such renewal. To implement this provision, HUD is waiving section 8(o)(13)(F) of The United States Housing Act of 1937, which established a maximum term of 15 years, as well as 24 CFR 983.205(a), which governs the contract term.
Agreement to Enter into a HAP (AHAP) Contract [Notice PIH 2012‐32, REV‐3] For public housing conversions to PBV, there will be no agreement to enter into a Housing Assistance Payments (AHAP) contract. Therefore, all regulatory references to the Agreement (AHAP), including regulations under 24 CFR Part 983 Subpart D, are waived. The definitions for 641
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© Copyright 2017 Nan McKay & Associates, Inc. HACSB Admin plan 08/01/2018 Unlimited copies may be made for internal use. Page 18‐19 proposal selection date, new construction, rehabilitation, and existing housing are not applicable.
Mandatory Contract Renewal [Notice PIH 2012‐32, REV‐3]
By statue, upon contact expiration, the agency administering the vouchers will offer, and the PHA will accept, renewal of the contract subject to the terms and conditions applicable at the time of renewal and the availability of appropriations each year for such renewal. Consequently 24 CFR 983.205(b), governing the PHA discretion to renew the contract for term of up to 15 years, will not apply.
In the event that the HAP contract is removed due to breach, non‐compliance or insufficiency of appropriations, for all units previously covered under the HAP contract, new tenants must have incomes at or below 80 percent of the area median income at the time of admission and rents may not exceed 30 percent of 80 percent of median income for an appropriate size unit for the remainder of the term of the RAD use agreement.
Remedies for HQS Violations [24 CFR 983.208(b)]
The PHA may not make any HAP payment to the owner for a contract unit during any period in which the unit does not comply with HQS. If the PHA determines that a contract does not comply with HQS, the PHA may exercise any of its remedies under the HAP contract, for any or all of the contract units. Available remedies include termination of housing assistance payments, abatement or reduction of housing assistance payments, reduction of contract units, and termination of the HAP contract.
HACSB Policy
The PHA will abate and terminate PBV HAP contracts for noncompliance with HQS in accordance with the policies used in the tenant‐based voucher program. These policies are contained in Section 8‐II.G., Enforcing Owner Compliance.
Tenant caused noncompliance with HQS in PHA owned units will be cause for termination of tenancy.
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© Copyright 2017 Nan McKay & Associates, Inc. HACSB Admin plan 08/01/2018 Unlimited copies may be made for internal use. Page 18‐20 18‐IV.C. AMENDMENTS TO THE HAP CONTRACT
Floating Units [Notice PIH 2012‐32, REV‐3]
In certain mixed‐finance projects, the PHA may ask HUD permission to have assistance float among units within the project that are the same bedroom size. The unit to which assistance is floated must be comparable to the unit being replaced in quality and amenities.
If the PHA chooses to float units, units are not specifically identified on the HAP contract, rather the HAP contract must specify the number and type of units in the property that are RAD PBV units, including any excepted units. The property must maintain the same number and type of RAD units from the time of the initial HAP contract execution forward.
HACSB Policy
The PHA will not float assistance among unoccupied units within the project.
Reduction in HAP Contract Units [Notice PIH 2012‐32, REV‐3] Project owners are required to make available for occupancy by eligible tenants the number of assisted units under the terms of the HAP contract.
The PHA may not reduce the number of assisted units without HUD approval. Any HUD approval of a PHA’s request to reduce the number of assisted units under contract is subject to conditions that HUD may impose. MTW agencies may not alter this requirement.
If units are removed from the HAP contract because a new admission’s TTP comes to equal or exceed the gross rent for the unit and if the project is fully assisted, the PHA must reinstate the unit after the family has vacated the property. If the project is partially assisted, the PHA may substitute a different unit for the unit on the HAP contract in accordance with 24 CFR 983.207, or where “floating” units have been permitted.
18‐IV.D. HAP CONTRACT YEAR AND ANNIVERSARY DATES [24 CFR 983.302(e)] The HAP contract year is the period of 12 calendar months preceding each annual anniversary of the HAP contract during the HAP contract term. The initial contract year is calculated from the first day of the first calendar month of the HAP contract term.
The annual anniversary of the HAP contract is the first day of the first calendar month after the end of the preceding contract year. There is a single annual anniversary date for all units under a particular HAP contract.
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© Copyright 2017 Nan McKay & Associates, Inc. HACSB Admin plan 08/01/2018 Unlimited copies may be made for internal use. Page 18‐21 18‐IV.E. OWNER RESPONSIBILITIES UNDER THE HAP CONTRACT
[24 CFR 983.210]
When the owner executes the HAP contract, he or she certifies that at such execution and at all times during the term of the HAP contract:
All contract units are in good condition and the owner is maintaining the premises and contract units in accordance with HQS;
The owner is providing all services, maintenance, equipment, and utilities as agreed to under the HAP contract and the leases;
Each contract unit for which the owner is receiving HAP is leased to an eligible family referred by the PHA, and the lease is in accordance with the HAP contract and HUD requirements;
To the best of the owner’s knowledge, the family resides in the contract unit for which the owner is receiving HAP, and the unit is the family’s only residence; The owner (including a principal or other interested party) is not the spouse, parent, child, grandparent, grandchild, sister, or brother of any member of a family residing in a contract unit;
The amount of the HAP the owner is receiving is correct under the HAP contract; The rent for contract units does not exceed rents charged by the owner for comparable unassisted units;
Except for HAP and tenant rent, the owner has not received and will not receive any other payment or consideration for rental of the contract unit; The family does not own or have any interest in the contract unit (this does not apply to the family’s membership in a cooperative); and
Repair work on the project selected as an existing project that is performed after HAP contract execution within such post‐execution period as specified by HUD may constitute development activity, and if determined to be development activity, the repair work undertaken shall be in compliance with Davis‐Bacon wage requirements. 18‐IV.F. VACANCY PAYMENTS [24 CFR 983.352(b)]
At the discretion of the PHA, the HAP contract may provide for vacancy payments to the owner for a PHA‐determined period of vacancy extending from the beginning of the first calendar month after the move‐out month for a period not exceeding two full months following the move‐out month. The amount of the vacancy payment will be determined by the PHA and cannot exceed the monthly rent to owner under the assisted lease, minus any portion of the rental payment received by the owner, including amounts available from the tenant’s security deposit.
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© Copyright 2017 Nan McKay & Associates, Inc. HACSB Admin plan 08/01/2018 Unlimited copies may be made for internal use. Page 18‐22 HACSB Policy
The PHA will not provide vacancy payments to the owner. 645
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© Copyright 2017 Nan McKay & Associates, Inc. HACSB Admin plan 08/01/2018 Unlimited copies may be made for internal use. Page 18‐23 PART V: SELECTION OF PBV PROGRAM PARTICIPANTS
18‐V.A. OVERVIEW
Many of the provisions of the tenant‐based voucher regulations [24 CFR 982] also apply to the PBV program. This includes requirements related to determining eligibility and selecting applicants from the waiting list. Even with these similarities, there are requirements that are unique to the PBV program. This part describes the requirements and policies related to eligibility and admission to the PBV program.
18‐V.B. PROHIBITED RESCREENING OF EXISTING TENANTS UPON CONVERSION [Notice PIH 2012‐32, REV‐3]
Current households cannot be excluded from occupancy at the covered project based on any rescreening, income eligibility, or income targeting provisions. Consequently, current households will be grandfathered for application of any eligibility criteria to conditions that occurred prior to conversion but will be subject to any ongoing eligibility requirements for actions that occur after conversion. Post‐conversion, the tenure of all residents of the covered project is protected pursuant to PBV requirements regarding continued occupancy unless explicitly modified by Notice PIH 2012‐32, REV‐3 (e.g., rent phase‐in provisions). For example, a unit with a household that was over‐income at time of conversion would continue to be treated as an assisted unit. Thus, 24 CFR 982.201, concerning eligibility and targeting, will not apply for current households. Once that remaining household moves out, the unit must be leased to an eligible family. Existing residents at the time of conversion may not be rescreened for citizenship status or have their social security numbers reverified.
Further, so as to facilitate the right to return to the assisted property, this provision must apply to current public housing residents of the converting project that will reside in non‐RAD PBV units placed in a project that contain RAD PBV units. Such families and such contract units will otherwise be subject to all requirements of the applicable program, specifically 24 CFR 983 for non‐RAD PBV.
For the RAD PBV program, in‐place family means a family who lived in a pre‐conversion property at the time assistance was converted from public housing to PBV under RAD. 646
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© Copyright 2017 Nan McKay & Associates, Inc. HACSB Admin plan 08/01/2018 Unlimited copies may be made for internal use. Page 18‐24 18‐V.C. ELIGIBILITY FOR PBV ASSISTANCE [24 CFR 983.251(a) and (b)] Applicants for PBV assistance must meet the same eligibility requirements as applicants for the tenant‐based voucher program. Applicants must qualify as a family as defined by HUD and the PHA, have income at or below HUD‐specified income limits, and qualify on the basis of citizenship or the eligible immigration status of family members [24 CFR 982.201(a) and 24 CFR 983.2(a)]. In addition, an applicant family must provide social security information for family members [24 CFR 5.216 and 5.218] and consent to the PHA’s collection and use of family information regarding income, expenses, and family composition [24 CFR 5.230]. The PHA may also not approve a tenancy if the owner (including a principal or other interested party) of the unit is the parent, child, grandparent, grandchild, sister, or brother of any member of the family, unless needed as a reasonable accommodation. An applicant family must also meet HUD requirements related to current or past criminal activity.
HACSB Policy
The PHA will determine an applicant family’s eligibility for the RAD PBV program in accordance with the policies in Chapter 3. In addition, 30% of the family’s monthly adjusted income must be below the HUD defined maximum rent for the unit. At initial occupancy a family must be eligible to receive PBV HAP subsidy. 647
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© Copyright 2017 Nan McKay & Associates, Inc. HACSB Admin plan 08/01/2018 Unlimited copies may be made for internal use. Page 18‐25 18‐V.D. ORGANIZATION OF THE WAITING LIST [24 CFR 983.251(c); Notice PIH 2012‐32, REV‐3] The standard PBV regulations at 24 CFR 983.251 set out program requirements related to establishing and maintaining a voucher‐wide, PBV program‐wide, or site‐based waiting list from which residents will be admitted. These provisions will apply unless the project is covered by a remedial order or agreement that specifies the type of waiting list and other waiting list policies.
HACSB Policy.
The PHA will establish and manage separate waiting lists for its tenant based and project based assistance. The PHA will maintain a PBV program‐wide waitlist.
All existing public housing waitlist applicants will be placed on to the PBV waitlist. The applicants shall have priority on the wait lists to which their application was transferred in accordance with the date and time of their application to the original waiting list.
For any applicants who are determined to be eligible for the PBV program, but with a household TTP that exceeds the RAD gross rent, the PHA will transfer such household, consistent with program requirements for administration of waiting lists, to the PHA’s tenant based voucher waiting list. This consideration will be made only for those households who originally applied for public housing assistance prior to the waitlist closing on March 31, 2013.
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© Copyright 2017 Nan McKay & Associates, Inc. HACSB Admin plan 08/01/2018 Unlimited copies may be made for internal use. Page 18‐26 18‐V.E. SELECTION FROM THE WAITING LIST [24 CFR 983.251(c)] After conversion to RAD PBV, applicants who will occupy units with RAD PBV assistance must be selected from the PHA’s waiting list. The PHA may establish selection criteria or preferences for occupancy of particular PBV units.
Income Targeting [24 CFR 983.251(c)(6); Notice PIH 2012‐32, REV‐3] At least 75 percent of the families admitted to the PHA’s tenant‐based and project‐based voucher programs during the PHA fiscal year from the waiting list must be extremely‐low income families. The income targeting requirement applies to the total of admissions to both programs.
Families in place at the time of the conversion are exempt from income targeting requirements.
New admissions follow standard PBV requirements.
Units with Accessibility Features [24 CFR 983.251(c)(7)] When selecting families to occupy PBV units that have special accessibility features for persons with disabilities, the PHA must first refer families who require such features to the owner.
Preferences [24 CFR 983.251(d); FR Notice 11/24/08; Notice PIH 2012‐32, REV‐3] The PHA may use the same selection preferences that are used for the tenant‐based voucher program, establish selection criteria or preferences for the PBV program as a whole, or for occupancy of particular PBV developments or units.
The PHA may establish a selection preference for families who qualify for voluntary services, including disability‐specific services, offered in conjunction with assisted units, provided that preference is consistent with the PHA plan. The PHA may not, however, grant a preference to a person with a specific disability [FR Notice 1/18/17].
In advertising such a project, the owner may advertise the project as offering services for a particular type of disability; however, the project must be open to all otherwise eligible persons with disabilities who may benefit from services provided in the project. In these projects, residents with disabilities may not be required to accept the particular services offered as a condition of occupancy.
HACSB Policy
The PHA maintains a community wide PBV waitlist and will offer the same preferences for the RAD PBV program as for all PBV projects as follows:
Category 1 ‐ Program Facilitation
Residents of HACSB owned/managed supportive housing developments are offered PBV assistance to facilitate the operation of the Housing Authority’s supportive housing programs. A formal case management assessment (i.e. SPDAT) will be conducted to substantiate that the resident no longer requires supportive housing. 649
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© Copyright 2017 Nan McKay & Associates, Inc. HACSB Admin plan 08/01/2018 Unlimited copies may be made for internal use. Page 18‐27 Category 2 – Resident Families
(10 points) Owner Referral: For specific supportive housing developments, preference will be given to any applicant that has applied to that Project Based Voucher assisted development and has been referred to HACSB by the owner of that development. Supportive housing developments with PBV allocations will be required to utilize at least 25% of their PBV units to house chronically homeless households.
(4 points) Displaced Family Preference:Families that have been displaced from housing within the PHA’s jurisdiction due to governmental action or disaster (2 points) Residency Preference: Families who live, work, or who have been hired to work within the South coast region of Santa Barbara County (2 points) Rent Burden Preference: Families not currently receiving any housing assistance (e.g. residing in state, local, or privately subsidized developments, receiving ongoing rental assistance) and families residing in a HACSB locally financed or HACSB managed property that have a rent burden exceeding 50% of household gross annual income
(1 point) Veteran Preference: Active members of the United States Armed Forces, Veterans of the United States Armed Forces, or spouses and surviving spouses of U.S. Veterans where the veteran was discharged other than dishonorably
(‐21 points) Single, Non‐Elderly, Non‐Disabled: Single household member applicants who do not meet HUD’s definition of disabled nor who are at minimum 62 years of age
18‐V.F. OFFER OF PBV ASSISTANCE
Refusal of Offer [24 CFR 983.251(e)(3)]
The PHA is prohibited from taking any of the following actions against a family who has applied for, received, or refused an offer of PBV assistance:
Refusing to list the applicant on the waiting list for tenant‐based voucher assistance Denying any admission preference for which the applicant qualifies Changing the applicant’s place on the waiting list based on preference, date, and time of application, or other factors affecting selection under the PHA’s selection policy Removing the applicant from the tenant‐based voucher waiting list 650
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© Copyright 2017 Nan McKay & Associates, Inc. HACSB Admin plan 08/01/2018 Unlimited copies may be made for internal use. Page 18‐28 Disapproval by Landlord [24 CFR 983.251(e)(2)]
If a PBV owner rejects a family for admission to the owner’s units, such rejection may not affect the family’s position on the tenant‐based voucher waiting list.
Acceptance of Offer [24 CFR 983.252]
Family Briefing
When a family accepts an offer for PBV assistance, the PHA must give the family an oral briefing. The briefing must include information on how the program works and the responsibilities of the family and owner. In addition to the oral briefing, the PHA must provide a briefing packet that explains how the PHA determines the total tenant payment for a family, the family obligations under the program, and applicable fair housing information.
Persons with Disabilities
If an applicant family’s head or spouse is disabled, the PHA must assure effective communication, in accordance with 24 CFR 8.6, in conducting the oral briefing and in providing the written information packet. This may include making alternative formats available (see Chapter 2). In addition, the PHA must have a mechanism for referring a family that includes a member with a mobility impairment to an appropriate accessible PBV unit.
Persons with Limited English Proficiency
The PHA should take reasonable steps to assure meaningful access by persons with limited English proficiency in accordance with Title VI of the Civil Rights Act of 1964 and Executive Order 13166 (see Chapter 2).
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© Copyright 2017 Nan McKay & Associates, Inc. HACSB Admin plan 08/01/2018 Unlimited copies may be made for internal use. Page 18‐29 18‐V.G. OWNER SELECTION OF TENANTS
The owner is responsible for developing written tenant selection procedures that are consistent with the purpose of improving housing opportunities for very low‐income families and reasonably related to program eligibility and an applicant’s ability to fulfill their obligations under the lease. An owner must promptly notify in writing any rejected applicant of the grounds for any rejection [24 CFR 983.253(a)(2) and (a)(3)].
Leasing [24 CFR 983.253(a)]
During the term of the HAP contract, the owner must lease contract units to eligible families that are selected and referred by the PHA from the PHA’s waiting list. The contract unit leased to the family must be the appropriate size unit for the size of the family, based on the PHA’s subsidy standards.
Filling Vacancies [24 CFR 983.254(a)]
The owner must promptly notify the PHA of any vacancy or expected vacancy in a contract unit.
After receiving such notice, the PHA must make every reasonable effort to promptly refer a sufficient number of families for the owner to fill such vacancies. The PHA and the owner must make reasonable efforts to minimize the likelihood and length of any vacancy.
HACSB Policy
The owner must notify the PHA in writing (mail, fax, or e‐mail) within five business days of learning about any vacancy or expected vacancy.
The PHA will make every reasonable effort to refer families to the owner within 10 business days of receiving such notice from the owner. 652
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© Copyright 2017 Nan McKay & Associates, Inc. HACSB Admin plan 08/01/2018 Unlimited copies may be made for internal use. Page 18‐30 18‐V.H. TENANT SCREENING [24 CFR 983.255]
PHA Responsibility
The PHA is not responsible or liable to the owner or any other person for the family’s behavior or suitability for tenancy. However, the PHA may opt to screen applicants for family behavior or suitability for tenancy and may deny applicants based on such screening.
HACSB Policy
The PHA will conduct screening to determine a PBV applicant family’s suitability for tenancy only when the PBV applicant is being offered a unit that is owned or managed by HACSB. The PHA will not conduct screening to determine a PBV applicant family’s suitability for tenancy for units not owned or managed by HACSB.
The PHA must provide the owner with an applicant family’s current and prior address (as shown in PHA records) and the name and address (if known by the PHA) of the family’s current landlord and any prior landlords.
In addition, the PHA may offer the owner other information the PHA may have about a family, including information about the tenancy history of family members or about drug trafficking and criminal activity by family members. The PHA must provide applicant families a description of the PHA policy on providing information to owners, and the PHA must give the same types of information to all owners.
The PHA may not disclose to the owner any confidential information provided in response to a request for documentation of domestic violence, dating violence, sexual assault, or stalking, except at the written request or with the written consent of the individual providing the documentation [24 CFR 5.2007(c)].
HACSB Policy
The PHA will inform owners of their responsibility to screen prospective tenants, and will provide owners with the required known name and address information, at the time of the turnover HQS inspection or before. The PHA will provide information to the owner about known tenancy history, if requested.
Owner Responsibility
The owner is responsible for screening and selection of the family to occupy the owner’s unit.
When screening families the owner may consider a family’s background with respect to the following factors:
Payment of rent and utility bills
Caring for a unit and premises
Respecting the rights of other residents to the peaceful enjoyment of their housing Drug‐related criminal activity or other criminal activity that is a threat to the health, safety, or property of others
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© Copyright 2017 Nan McKay & Associates, Inc. HACSB Admin plan 08/01/2018 Unlimited copies may be made for internal use. Page 18‐31 Compliance with other essential conditions of tenancy 654
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© Copyright 2017 Nan McKay & Associates, Inc. HACSB Admin plan 08/01/2018 Unlimited copies may be made for internal use. Page 18‐33 PART VI: OCCUPANCY
18‐VI.A. OVERVIEW
After an applicant has been selected from the waiting list, determined eligible by the PHA, referred to an owner, and determined suitable by the owner, the family will sign the lease and occupancy of the unit will begin.
18‐VI.B. LEASE [24 CFR 983.256; Notice PIH 2012‐32, REV‐3] The tenant must have legal capacity to enter into a lease under state and local law. Legal capacity means that the tenant is bound by the terms of the lease and may enforce the terms of the lease against the owner.
The tenant and the owner must enter into a written lease agreement that is signed by both parties. The tenancy addendum must include, word‐for‐word, all provisions required by HUD.
Lease Requirements [24 CFR 983.256(c); Notice PIH 2012‐32, REV‐3] The lease for a PBV unit must specify all of the following information:
The names of the owner and the tenant;
The unit rented (address, apartment number, if any, and any other information needed to identify the leased contract unit);
The term of the lease (initial term and any provision for renewal); The amount of the tenant rent to owner, which is subject to change during the term of the lease in accordance with HUD requirements;
A specification of the services, maintenance, equipment, and utilities that will be provided by the owner; and
The amount of any charges for food, furniture, or supportive services.
The PHA must include resident procedural rights for termination notification and grievance procedures in the owner’s lease. These requirements are not part of the regular PBV program but are required under RAD. An example of language that may be included can be found in Attachment‐1E of Notice PIH 2012‐32, REV‐2.
Tenancy Addendum [24 CFR 983.256(d)]
The tenancy addendum in the lease must state:
The program tenancy requirements
The composition of the household as approved by the PHA (the names of family members and any PHA‐approved live‐in aide)
All provisions in the HUD‐required tenancy addendum must be included in the lease. The terms of the tenancy addendum prevail over other provisions of the lease. 656
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© Copyright 2017 Nan McKay & Associates, Inc. HACSB Admin plan 08/01/2018 Unlimited copies may be made for internal use. Page 18‐34 Initial Term and Lease Renewal [24 CFR 983.256(f); PBV Quick Reference Guide (10/14)] Leases for residents who will remain in place (i.e., who will not be relocated solely as a result of conversion) must have an effective date that coincides with—and must be signed on or before—the effective date of the RAD PBV HAP contract.
The initial lease term must be for at least one year. The lease must provide for automatic renewal after the initial term of the lease in either successive definitive terms (e.g., month‐to‐ month or year‐to‐year) or an automatic indefinite extension of the lease term. For automatic indefinite extension of the lease term, the lease terminates if any of the following occur:
The owner terminates the lease for good cause
The tenant terminates the lease
The owner and tenant agree to terminate the lease
The PHA terminates the HAP contract
The PHA terminates assistance for the family
Changes in the Lease [24 CFR 983.256(e)]
If the tenant and owner agree to any change in the lease, the change must be in writing, and the owner must immediately give the PHA a copy of all changes.
The owner must notify the PHA in advance of any proposed change in the lease regarding the allocation of tenant and owner responsibilities for utilities. Such changes may only be made if approved by the PHA and in accordance with the terms of the lease relating to its amendment.
The PHA must redetermine reasonable rent, in accordance with program requirements, based on any change in the allocation of the responsibility for utilities between the owner and the tenant. The redetermined reasonable rent will be used in calculation of the rent to owner from the effective date of the change.
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© Copyright 2017 Nan McKay & Associates, Inc. HACSB Admin plan 08/01/2018 Unlimited copies may be made for internal use. Page 18‐35 Owner Termination of Tenancy [24 CFR 983.257; Notice PIH 2012‐32, REV‐3] With two exceptions, the owner of a PBV unit may terminate tenancy for the same reasons an owner may in the tenant‐based voucher program (see Section 12‐III.B. and 24 CFR 982.310). In the PBV program, terminating tenancy for “good cause” does not include doing so for a business or economic reason, or a desire to use the unit for personal or family use or other non‐ residential purpose.
Projects converting from public housing to PBV under RAD have additional procedural rights that do not apply to the standard PBV program. These procedural rights must be included in the owner’s lease as well as the PHA’s administrative plan. In addition to the regulations at 24 CFR 983.257 related to project owner termination of tenancy and eviction (which MTW agencies may not alter) the termination procedure for RAD conversions to PBV will require that PHAs provide adequate written notice of termination of the lease which may not be less than:
A reasonable period of time, but not to exceed 30 days:
- If the health or safety of other tenants, PHA employees, or persons residing in the immediate vicinity of the premises is threatened; or
- In the event of any drug‐related or violent criminal activity or any felony conviction 14 days in the case of nonpayment of rent
30 days in any other case, except that if a state or local law provides for a shorter period of time, such shorter period will apply
Unlike in the standard PBV program, residents in converted projects have the right to request an informal hearing for issues that adversely affect the resident’s rights, obligations, welfare, or status with both the PHA and the project owner. See Chapter 16 Part III: Informal Reviews and Hearings for more information.
Tenant Absence from the Unit [24 CFR 983.256(g) and 982.312(a)] The lease may specify a maximum period of family absence from the unit that may be shorter than the maximum period permitted by PHA policy. According to program requirements, the family’s assistance must be terminated if they are absent from the unit for more than 180 consecutive days. PHA termination of assistance actions due to family absence from the unit are subject to 24 CFR 982.312, except that the unit is not terminated from the HAP contract if the family is absent for longer than the maximum period permitted.
HACSB Policy
In addition to the above program requirements, the assisted unit must be the sole place of residence for tenants residing in HACSB owned or managed units. Resident may not live in the assisted unit on any part time basis under any circumstances. 658
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© Copyright 2017 Nan McKay & Associates, Inc. HACSB Admin plan 08/01/2018 Unlimited copies may be made for internal use. Page 18‐36 Continuation of Housing Assistance Payments [24 CFR 983.258; Notice PIH 2012‐32, REV‐3] Current residents living in the property prior to conversion are placed on and remain under the HAP contract when TTP equals or exceeds gross rent. In this case, until such time as the family’s TTP falls below the gross rent, the family will pay the owner the lesser of their TTP minus the utility allowance or any applicable maximum rent under the LIHTC program. The family will continue to pay this amount until/if circumstances change and HAP is paid on their behalf. In other words, assistance may subsequently be reinstated if the tenant becomes eligible for assistance. In such cases, the resident is still considered a program participant. All of the family obligations and protections under RAD and standard PBV apply to the resident. Likewise, all requirements with respect to the unit, such as compliance with the HQS requirements, apply as long as the unit is under HAP contract.
Following conversion, 24 CFR 983.53(d) applies, and any new families referred to the RAD PBV project must be initially eligible for a HAP payment at admission to the program. Further, for any new families admitted after the conversion, assistance will be terminated 180 days after the last housing assistance payment on their behalf. The cessation of housing assistance payments does not affect the family’s other rights under its lease, nor does it preclude the resumption of payments as a result of later changes in income, rents, or other relevant circumstances if such changes occur within the 180 day window. If a family’s assistance is terminated as a result of their zero HAP status, the PHA must remove the unit from the HAP contract. If the project is fully assisted, the PHA must reinstate the unit after the family has vacated the property. If the project is partially assisted, the PHA may substitute a different unit for the unit on the HAP contract in accordance with 24 CFR 983.207.
HACSB Policy
If a participating family who was admitted after the RAD conversion receive zero assistance and subsequently experiences a change in circumstances that would result in a HAP payment to the owner, the family must notify the PHA of the change and request an interim reexamination before the expiration of the 180‐day period.
Families admitted after conversion who have their assistance terminated as a result of zero HAP will pay as rent, the higher of the current RAD rent or their TTP minus utility allowance.
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© Copyright 2017 Nan McKay & Associates, Inc. HACSB Admin plan 08/01/2018 Unlimited copies may be made for internal use. Page 18‐37 Security Deposits [24 CFR 983.259; PBV Quick Reference Guide (10/14)] Owners are permitted to recognize security deposit amounts that have been previously provided by tenants who are in‐place at the time of the RAD conversion. Otherwise the security deposit requirements for standard PBV apply.
The owner may collect a security deposit from the tenant. The PHA may prohibit security deposits in excess of private market practice, or in excess of amounts charged by the owner to unassisted tenants.
HACSB Policy
The PHA will allow the owner to collect a security deposit amount the owner determines is appropriate.
When the tenant moves out of a contract unit, the owner, subject to state and local law, may use the security deposit, including any interest on the deposit, in accordance with the lease, as reimbursement for any unpaid tenant rent, damages to the unit, or other amounts owed by the tenant under the lease.
The owner must give the tenant a written list of all items charged against the security deposit and the amount of each item. After deducting the amount used to reimburse the owner, the owner must promptly refund the full amount of the balance to the tenant.
If the security deposit does not cover the amount owed by the tenant under the lease, the owner may seek to collect the balance from the tenant. The PHA has no liability or responsibility for payment of any amount owed by the family to the owner. 660
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© Copyright 2017 Nan McKay & Associates, Inc. HACSB Admin plan 08/01/2018 Unlimited copies may be made for internal use. Page 18‐38 18‐VI.C. PUBLIC HOUSING FSS AND ROSS PARTICIPANTS [Notice PIH 2012‐32, REV‐3] Current PH FSS participants will continue to be eligible for FSS once their housing is converted under RAD, and PHAs will be allowed to use any PH FSS funds granted previously or pursuant to the current fiscal year (FY) PH FSS notice of funding availability (NOFA), to serve those FSS participants who live in units converted to RAD and who will as a result be moving to the HCV FSS program. A PHA must convert the PH FSS program participants at the covered project to their HCV FSS program.
Residents who were converted from the PH FSS program to the HCV FSS program through RAD may not be terminated from the HCV FSS program or have HCV assistance withheld due to the participant’s failure to comply with the contract of participation. Consequently, 24 CFR 984.303(b)(5)(iii) does not apply to FSS participants in converted properties.
At the completion of the FSS grant, PHAs should follow the normal closeout procedures outlined in the grant agreement. If the PHA continues to run an FSS program that serves PH and/or HCV participants, the PHA will continue to be eligible (subject to NOFA requirements) to apply for FSS funding and may use that funding to serve PH, HCV, and PBRA participants in its FSS program.
Current Resident Opportunities and Self‐Sufficiency–Service Coordinators (ROSS–SC) program grantees will be able to finish out their current ROSS–SC grants once their housing is converted under RAD. However, once the property is converted, it will no longer be eligible to be counted towards the unit count for future public housing ROSS–SC grants.
At the completion of the ROSS‐SC grant, PHAs should follow the normal closeout procedures outlined in the grant agreement. Please note that ROSS‐SC grantees may be a non‐profit or local resident association and this consequence of a RAD conversion may impact those entities. 18‐VI.D. RESIDENT PARTICIPATION AND FUNDING [Notice PIH 2012‐32, REV‐3] Residents of covered projects converting assistance to PBVs will have the right to establish and operate a resident organization for the purpose of addressing issues related to their living environment and be eligible for resident participation funding. 661
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© Copyright 2017 Nan McKay & Associates, Inc. HACSB Admin plan 08/01/2018 Unlimited copies may be made for internal use. Page 18‐39 18‐VI.E. MOVES
Overcrowded, Under‐Occupied, and Accessible Units [24 CFR 983.260; Notice PIH 2012‐32, REV‐3]
All in‐place tenants at the time of conversion are eligible to remain in the project. Over‐housed families should be moved into appropriately sized units if such units are available in the new or rehabbed project. If appropriately sized units are not available, the existing tenants may continue to be over‐housed until an appropriately sized unit becomes available or until the tenant leaves the project. Once the unit turns over, it must be leased to an appropriately sized family.
Following conversion, the standard PBV regulations apply. If the PHA determines that a family is occupying a wrong‐size unit, based on the PHA’s subsidy standards, or a unit with accessibility features that the family does not require, and the unit is needed by a family that does require the features, the PHA must promptly notify the family and the owner of this determination, and the PHA must offer the family the opportunity to receive continued housing assistance in another unit.
HACSB Policy
The PHA will notify the family and the owner of the family’s need to move based on the occupancy of a wrong‐size or accessible unit within 10 business days of the PHA’s determination. The PHA will offer the family the following types of continued assistance in the following order, based on the availability of assistance:
PBV assistance in the same building or project
PBV assistance in another project
Tenant‐based voucher assistance
If the PHA offers the family a tenant‐based voucher, the PHA must terminate the housing assistance payments for a wrong‐size or accessible unit at the earlier of the expiration of the term of the family’s voucher, including any extension granted by the PHA, or the date upon which the family vacates the unit. If the family does not move out of the wrong‐size unit or accessible unit by the expiration of the term of the family’s voucher, the PHA must remove the unit from the HAP contract.
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© Copyright 2017 Nan McKay & Associates, Inc. HACSB Admin plan 08/01/2018 Unlimited copies may be made for internal use. Page 18‐40 If the PHA offers the family another form of assistance that is not a tenant‐based voucher, and the family does not accept the offer, does not move out of the PBV unit within a reasonable time as determined by the PHA, or both, the PHA must terminate the housing assistance payments for the unit at the expiration of a reasonable period as determined by the PHA and remove the unit from the HAP contract.
HACSB Policy
When the PHA offers a family another form of assistance that is not a tenant‐based voucher, the family will be given 30 days from the date of the offer to accept the offer and move out of the PBV unit. If the family does not move out within this 30‐day time frame, the PHA will terminate the housing assistance payments at the expiration of this 30‐day period.
The PHA may make exceptions to this 30‐day period if needed for reasons beyond the family’s control such as death, serious illness, or other medical emergency of a family member.
Family Right to Move [24 CFR 983.261]
The family may terminate the lease at any time after the first year of occupancy. The family must give advance written notice to the owner in accordance with the lease and provide a copy of such notice to the PHA.
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© Copyright 2017 Nan McKay & Associates, Inc. HACSB Admin plan 08/01/2018 Unlimited copies may be made for internal use. Page 18‐41 Choice Mobility [Notice PIH 2012‐32, REV‐3]
If the family wishes to move with continued tenant‐based assistance, the family must contact the PHA to request the rental assistance prior to providing notice to terminate the lease. If the family terminates the lease in accordance with lease requirements, the PHA is required to offer the family the opportunity for continued tenant‐based assistance, in the form of a voucher or other comparable tenant‐based rental assistance. If a voucher or other comparable tenant‐ based assistance is not immediately available, the PHA must give the family priority to receive the next available opportunity for continued tenant‐based assistance.
If the family terminates the assisted lease before the end of the first year, the family relinquishes the opportunity for continued tenant‐based assistance.
PHA Policy:
Prior to providing notice to the owner to terminate the lease, the family may submit a written request to the PHA for a choice mobility voucher at any time after completing the 12‐month occupancy requirement.
In order to receive a choice mobility voucher the family must not owe any money to the PBV owner nor can the family be in the process of eviction. Process of eviction will which will be defined as having been served a notice to vacate for tenant breach of lease.
The family will remain eligible to request a choice mobility voucher as long as they continue living at the same covered project. If a family moves from one covered project to another covered project prior to completing their 12‐month occupancy requirement, their 12‐month clock will reset. The family must wait 12 months from the date of move at the new property before they may request another choice mobility voucher. If a family transfers to a different unit within the same covered project, the 12‐month clock does not reset. If the family vacates before receiving a choice mobility voucher they will relinquish the opportunity for continued tenant‐based assistance.
The PHA will maintain a combined, agency‐wide waiting list for all standard PBV and RAD PBV families wishing to exercise mobility after one year of tenancy. This list will be maintained separately from the tenant‐based HCV list. Families on the choice mobility waiting list will be given priority over families on the tenant‐based waiting list. The choice mobility waiting list will be organized by date and time of the family’s written request to exercise choice mobility.
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© Copyright 2017 Nan McKay & Associates, Inc. HACSB Admin plan 08/01/2018 Unlimited copies may be made for internal use. Page 18‐42 Turnover Cap
If as a result of RAD, the total number of PBV units (including RAD PBV units) administered by the PHA exceeds 20 percent of the PHA’s authorized units under its HCV ACC with HUD, the PHA may establish a turnover cap. The PHA is not required to provide more than three‐quarters of its turnover vouchers in any single year to the residents of covered projects. If the PHA chooses to establish a turnover cap and the cap is implemented, the PHA must create and maintain a waiting list in the order requests from eligible households were received.
HACSB Policy
As a result of RAD, the total number of PBV units (including RAD PBV units) administered by the PHA exceeds 20 percent of the PHA’s authorized units under its HCV ACC with HUD. Therefore, the PHA will establish a choice mobility cap. The PHA will not provide more than three‐quarters of its turnover vouchers in a single year to residents of covered projects.
Families who requested a choice mobility voucher and are denied due to the cap will be given priority the following year when choice mobility vouchers are again issued since the choice mobility list will be organized by the date and time of the family’s request. 665
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© Copyright 2017 Nan McKay & Associates, Inc. HACSB Admin plan 08/01/2018 Unlimited copies may be made for internal use. Page 18‐43 Emergency Transfers under VAWA [Notice PIH 2017‐08]
Except where special consideration is needed for the project‐based voucher program, the PHA will follow VAWA policies as outlined in Chapter 16 Part IX of this administrative plan, including using the Emergency Transfer Plan as the basis for PBV transfers under VAWA (Exhibit 16‐4).
HUD requires that the PHA include policies that address when a victim has been living in a unit for less than a year or when a victim seeks to move sooner than a tenant‐based voucher is available.
HACSB Policy
When the victim of domestic violence, dating violence, sexual assault, or stalking has lived in the unit for less than one year, the PHA will provide several options for continued assistance.
The PHA will first try to transfer the participant to another PBV unit in the same development or transfer to a different development where the PHA has PBV units. The PHA will expedite the administrative processes in this case in an effort to conduct the transfer as quickly as possible.
If no units are available for an internal transfer or if there is reasonable cause to believe that such a transfer would put the victim in jeopardy, the participant may receive continued assistance through an external transfer to tenant‐based rental assistance (HCV).
If a victim wishes to move after a year of occupancy in the unit, but no tenant‐based vouchers are available, the PHA will offer the participant an internal transfer to another PBV unit in the same development or a transfer to a different development where the PHA has PBV units. The PHA will expedite the administrative processes in this case in an effort to conduct the transfer as quickly as possible.
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© Copyright 2017 Nan McKay & Associates, Inc. HACSB Admin plan 08/01/2018 Unlimited copies may be made for internal use. Page 18‐44 18‐VI.F. REEXAMINATIONS [PBV Quick Reference Guide (10/14)] A family living in a unit converted from public housing to RAD PBV may retain its certification date. Unless a family’s annual reexamination is due at the same time as the effective date of the RAD PBV HAP contract, the PHA does not need to recertify tenants at the point of conversion. For each family residing in a unit undergoing conversion of assistance under RAD, the administering PHA will have to submit a form HUD‐50058 reflecting the family’s admission to the voucher program. The effective date of the new admission will be the same as the effective date of the RAD PBV HAP contract. The form should include the same information previously found on the public housing form 50058, including the next annual reexamination date.
18‐VI.G. EARNED INCOME DISALLOWANCE [Notice PIH 2012‐32, REV‐3] Tenants who are employed and are currently receiving the EID exclusion at the time of conversion will continue to receive the EID after conversion, in accordance with regulations at 24 CFR 5.617. Upon the expiration of the EID for such families, the rent adjustment will not be subject to rent phase‐in; instead, the rent will automatically rise to the appropriate rent level based upon tenant income at that time.
Under the HCV program, the EID exclusion is limited to only persons with disabilities [24 CFR
5.617(b)]. In order to allow all tenants (including non‐disabled persons) who are employed and currently receiving the EID at the time of conversion to continue to benefit from this exclusion in the PBV project, the provision in section 5.617(b) limiting EID to only persons with disabilities is waived. The waiver and resulting alternative requirement only applies to tenants receiving the EID at the time of conversion. No other tenant, such as tenants who at one time received the EID but are not receiving the EID exclusion at the time of conversion (e.g., due to loss of employment), tenants that move into the property following conversion, etc., is covered by this waiver.
18‐VI.H. RESIDENTS’ PROCEDURAL RIGHTS [Notice PIH 2012‐32, REV‐3] HUD is incorporating additional termination notification requirements for public housing projects that convert assistance under RAD to PBV beyond those for the standard PBV program.
In addition to the regulations at 24 CFR 983.257 related to owner termination of tenancy and eviction (which MTW agencies may not alter) the termination procedure for RAD conversions to PBV require that PHAs provide adequate written notice of termination of the lease, which is no less than:
A reasonable period of time, but not to exceed 30 days:
- If the health or safety of other tenants, project owner employees, or persons residing in the immediate vicinity of the premises is threatened; or - In the event of any drug‐related or violent criminal activity or any felony conviction. Not less than 14 days in the case of nonpayment of rent 667
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© Copyright 2017 Nan McKay & Associates, Inc. HACSB Admin plan 08/01/2018 Unlimited copies may be made for internal use. Page 18‐45 Not less than 30 days in any other case, except that if a state or local law provides for a shorter period of time, such shorter period will apply
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© Copyright 2017 Nan McKay & Associates, Inc. HACSB Admin plan 08/01/2018 Unlimited copies may be made for internal use. Page 18‐46 18‐VI.I. INFORMAL REVIEWS AND HEARINGS [Notice PIH 2012‐32, REV‐3] Unlike in the standard PBV program, residents in converted projects have the right to request an informal hearing for issues that adversely affect the resident’s rights, obligations, welfare, or status with both the PHA and the project owner.
In addition to reasons for an informal hearing listed at 24 CFR 982.555(a)(1)(i)–(vi) (See 16‐III.C. Informal Hearings for Participants), an opportunity for an informal hearing must be given to residents for any dispute that a resident may have with respect to an owner action in accordance with the individual’s lease or the contract administrator in accordance with RAD PBV requirements that adversely affect the resident’s rights, obligations, welfare, or status. For any hearing required under 24 CFR 982.555(a)(1)(i)–(vi), the contract administrator will perform the hearing, as is the current standard in the program. For any additional hearings required under RAD, the PHA (as owner) will perform the hearing.
An informal hearing will not be required for class grievances or for disputes between residents not involving the PHA (as owner) or contract administrator. This hearing requirement does not apply to and is not intended as a forum for initiating or negotiating policy changes between a group or groups of residents and the PHA (as owner) or contract administrator.
The PHA (as owner) must give residents notice of their ability to request an informal hearing as outlined in 24 CFR 982.555(c)(1) for informal hearings that will address circumstances that fall outside of the scope of 24 CFR 982.555(a)(1)(i)–(vi). (See Chapter 16) The PHA (as owner) must provide an opportunity for an informal hearing before an eviction. 669
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© Copyright 2017 Nan McKay & Associates, Inc. HACSB Admin plan 08/01/2018 Unlimited copies may be made for internal use. Page 18‐47 670
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© Copyright 2017 Nan McKay & Associates, Inc. HACSB Admin plan 08/01/2018 Unlimited copies may be made for internal use. Page 18‐48 PART VII: DETERMINING CONTRACT RENT
18‐VII.A. INITIAL CONTRACT RENTS [Notice PIH 2012‐32, REV‐3] RAD conversions are intended to be cost‐neutral, and therefore, should not exceed current public housing funding as adjusted for unit size. Since public housing units do not currently have contract rents, HUD provides an estimate of current contract rents for each PHA’s public housing units based on current funding as adjusted by bedroom size. Current funding includes operating subsidy, tenant rents, capital funds, replacement housing factor funds (RHF), and demolition disposition transitional funding (DDTF). The funding may limit the amount of initial rent for a property. A detailed explanation of the determination of current funding may be found in Attachment 1C of Notice PIH 2012‐32, REV‐2. Once the current funding amount is calculated, the amount is adjusted by bedroom size to determine the current funding rent. HUD uses the same bedroom adjustment factors as in the metropolitan FMR schedules where the project is located.
PHAs may adjust subsidy (and contract rents) across multiple projects as long as the PHA does not exceed the aggregate subsidy for all of the projects the PHA has submitted for conversion under RAD. This use, which HUD refers to as “bundled” rents, is permissible when a PHA submits applications for two or more projects. There is no limit to the number of projects that a PHA may bundle.
Notwithstanding the current funding level, the initial rents are set at the lower of:
110 percent of the fair market rent (FMR) or the PHA’s exception payment standard approved by HUD, or the alternate rent cap in a PHA’s MTW agreement Reasonable rent in comparison to the unassisted housing market An amount determined by current funding
- Adjusted through rent bundling or reconfiguration of units 671
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© Copyright 2017 Nan McKay & Associates, Inc. HACSB Admin plan 08/01/2018 Unlimited copies may be made for internal use. Page 18‐49 18‐VII.B. ADJUSTING CONTRACT RENTS [Notice PIH 2012‐32, REV‐3; PBV Quick Reference Guide (10/14)]
Contract rents will be adjusted annually by HUD’s operating cost adjustment factor (OCAF) at each anniversary of the HAP contract, subject to the availability of appropriations for each year of the contract term. As such, section 8(o)(13)(I) of the 1937 Act, and 24 CFR 983.301 and 983.302, concerning rent determinations, do not apply when adjusting rents. The rent to owner may at no time exceed the reasonable rent charged for comparable unassisted units in the private market, as determined by the contract administrator in accordance with 24 CFR 983.303.
Contract rents may not exceed the reasonable rent, with the exception that the contract rent for each unit may not be reduced below the initial contract rent under the initial HAP contract.
However, the rent to owner may fall below the initial contract rent in the following situations:
To correct errors in calculations in accordance with HUD requirements If additional housing assistance has been combined with PBV assistance after the execution of the initial HAP contract and a rent decrease is required pursuant to 983.55 (prohibition of excess public assistance)
If a decrease in rent to owner is required based on changes in the allocation of responsibility for utilities between the owner and the tenant The contract rent adjustment will be the lesser of:
The current contract rent increased by the operating cost adjustment factor (OCAF), which is published annually in the Federal Register; or
The reasonable rent
The administering PHA (or independent entity, if the project is PHA‐owned) is responsible for processing rent adjustments, at each contract anniversary date, in accordance with the prevailing OCAF.
At least 120 days before the contract anniversary date, HUD recommends that the owner submit the OCAF rent adjustment worksheet (Form HUD‐9625) to the PHA administering the PBV assistance (or the independent entity). The PHA will validate the data on the form and determine whether the rent exceeds the reasonable rent charged for comparable unassisted units in the private market, in accordance with 24 CFR 983.303. If rents would be unreasonable following application of the requested OCAF, then the rent can only be increased up to the reasonable rent. The approved rent adjustment will go into effect and the new rents to owner will take effect on the date of the contract anniversary.
Rent Decrease
Rents must not be reduced below the initial rent except to correct errors, for additional subsidy to the property, or to realign utility responsibilities. 672
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When contract rent amounts are set initially, the amount does not include a utility allowance.
In general, the utility allowances that are used on the initial HAP contract at closing are the public housing utility allowances that are in effect prior to conversion. The CHAP must be updated prior to conversion to reflect current public housing utility allowances. At its discretion, a PHA may use the FMRs and utility allowances in effect during the 30‐day period immediately before the beginning date of the HAP contract. A PHA may request a waiver from HUD in order to establish a site‐specific utility allowance schedule.
After conversion, the PHA may maintain a utility allowance schedule for tenant‐paid utilities in accordance with standard PBV and HCV utility allowance regulations at 24 CFR 983.301(f)(2)(ii) and 24 CFR 982.517 respectively. The PHA may instead, however, apply site specific utility allowances in accordance with Notice PIH 2018‐11.HACSB Policy The PHA will use the HCV utility allowance schedule for the RAD developments. 673
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At the time the initial rent is established and all times during the term of the HAP contract, the rent to owner for a contract unit may not exceed the reasonable rent for the unit as determined by the PHA, except rents must not be reduced below the initial rent except to correct errors, for additional subsidy to the property, or to realign utility responsibilities.
How to Determine Reasonable Rent
The reasonable rent of a unit receiving PBV assistance must be determined by comparison to rent for other comparable unassisted units. When making this determination, the PHA must consider factors that affect market rent. Such factors include the location, quality, size, type and age of the unit, as well as the amenities, housing services maintenance, and utilities to be provided by the owner.
Comparability Analysis
For each unit, the comparability analysis must use at least three comparable units in the private unassisted market. This may include units in the premises or project that is receiving project‐ based assistance. The analysis must show how the reasonable rent was determined, including major differences between the contract units and comparable unassisted units, and must be retained by the PHA. The comparability analysis may be performed by PHA staff or by another qualified person or entity. Those who conduct these analyses or are involved in determining the housing assistance payment based on the analyses may not have any direct or indirect interest in the property.
PHA‐Owned Units
For PHA‐owned units, the amount of the reasonable rent must be determined by an independent agency approved by HUD in accordance with PBV program requirements. The independent entity must provide a copy of the determination of reasonable rent for PHA‐ owned units to the PHA and to the HUD field office where the project is located. 674
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18‐VIII.A. HOUSING ASSISTANCE PAYMENTS
During the term of the HAP contract, the PHA must make housing assistance payments to the owner in accordance with the terms of the HAP contract. During the term of the HAP contract, payments must be made for each month that a contract unit complies with HQS and is leased to and occupied by an eligible family. The housing assistance payment must be paid to the owner on or about the first day of the month for which payment is due, unless the owner and the PHA agree on a later date.
Except for discretionary vacancy payments, the PHA may not make any housing assistance payment to the owner for any month after the month when the family moves out of the unit (even if household goods or property are left in the unit).
The amount of the housing assistance payment by the PHA is the rent to owner minus the tenant rent (total tenant payment minus the utility allowance).
In order to receive housing assistance payments, the owner must comply with all provisions of the HAP contract. Unless the owner complies with all provisions of the HAP contract, the owner does not have a right to receive housing assistance payments. 675
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If an assisted family moves out of the unit, the owner may keep the housing assistance payment for the calendar month when the family moves out. However, the owner may not keep the payment if the PHA determines that the vacancy is the owner’s fault.
HACB Policy
The PHA will not make vacancy payments to owners.
At the discretion of the PHA, the HAP contract may provide for vacancy payments to the owner.
The PHA may only make vacancy payments if:
The owner gives the PHA prompt, written notice certifying that the family has vacated the unit and identifies the date when the family moved out (to the best of the owner’s knowledge);
The owner certifies that the vacancy is not the fault of the owner and that the unit was vacant during the period for which payment is claimed;
The owner certifies that it has taken every reasonable action to minimize the likelihood and length of vacancy; and
The owner provides any additional information required and requested by the PHA to verify that the owner is entitled to the vacancy payment.
The owner must submit a request for vacancy payments in the form and manner required by the PHA and must provide any information or substantiation required by the PHA to determine the amount of any vacancy payment.
HACSB Policy
The PHA will not make vacancy payments to owners.
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The tenant rent is the portion of the rent to owner paid by the family. The amount of tenant rent is determined by the PHA in accordance with HUD requirements. Any changes in the amount of tenant rent will be effective on the date stated in the PHA notice to the family and owner.
The family is responsible for paying the tenant rent (total tenant payment minus the utility allowance). The amount of the tenant rent determined by the PHA is the maximum amount the owner may charge the family for rental of a contract unit. The tenant rent covers all housing services, maintenance, equipment, and utilities to be provided by the owner. The owner may not demand or accept any rent payment from the tenant in excess of the tenant rent as determined by the PHA. The owner must immediately return any excess payment to the tenant.
Tenant and PHA Responsibilities
The family is not responsible for the portion of rent to owner that is covered by the housing assistance payment and the owner may not terminate the tenancy of an assisted family for nonpayment by the PHA.
Likewise, the PHA is responsible only for making the housing assistance payment to the owner in accordance with the HAP contract. The PHA is not responsible for paying tenant rent, or any other claim by the owner, including damage to the unit. The PHA may not use housing assistance payments or other program funds (including administrative fee reserves) to pay any part of the tenant rent or other claim by the owner.
Utility Reimbursements
If the amount of the utility allowance exceeds the total tenant payment, the PHA must pay the amount of such excess to the tenant as a reimbursement for tenant‐paid utilities, and the tenant rent to the owner must be zero.
The PHA may pay the utility reimbursement directly to the family or to the utility supplier on behalf of the family. If the PHA chooses to pay the utility supplier directly, the PHA must notify the family of the amount paid to the utility supplier.
HACSB Policy
The PHA will make utility reimbursements directly to the family. 677
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HACSB Policy
The PHA will implement a three‐year phase‐in for in‐place families whose rent increases by more than the greater of 10 percent or $25 as a result of the conversion as follows:
Year 1: Any recertification (interim or annual) performed prior to the second annual recertification after conversion: 33 percent of the difference between the most recently paid TTP and the calculated PBV TTP
Year 2: Year 2 annual recertification (AR) and any interim recertification (IR): 50 percent of the difference between the most recently paid TTP and the calculated
PBV TTP
Year 3: Year 3 AR and all subsequent recertifications: Full calculated TTP Once the standard TTP is equal to or less than the previous TTP, the phase‐in ends and tenants will pay full TTP from that point forward.
18.VIII.E. OTHER FEES AND CHARGES [24 CFR 983.354]
Meals and Supportive Services
With the exception of PBV assistance in assisted living developments, the owner may not require the tenant to pay charges for meals or supportive services. Non‐payment of such charges is not grounds for termination of tenancy.
In assisted living developments receiving PBV assistance, the owner may charge for meals or supportive services. These charges may not be included in the rent to owner, nor may the value of meals and supportive services be included in the calculation of the reasonable rent.
However, non‐payment of such charges is grounds for termination of the lease by the owner in an assisted living development.
Other Charges by Owner
The owner may not charge extra amounts for items customarily included in rent in the locality or provided at no additional cost to unsubsidized tenants in the premises. 678
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GLOSSARY
A. ACRONYMS USED IN THE HOUSING CHOICE VOUCHER (HCV) PROGRAM AAF Annual adjustment factor (published by HUD in the Federal Register and used to compute annual rent adjustments)
ACC Annual contributions contract
ADA Americans with Disabilities Act of 1990
AIDS Acquired immune deficiency syndrome
BR Bedroom
CDBG Community Development Block Grant (Program)
CFR Code of Federal Regulations (published federal rules that define and implement laws; commonly referred to as “the regulations”)
CPI Consumer price index (published monthly by the Department of Labor as an inflation indicator)
EID Earned income disallowance
EIV Enterprise Income Verification
FDIC Federal Deposit Insurance Corporation
FHA Federal Housing Administration (HUD Office of Housing) FHEO Fair Housing and Equal Opportunity (HUD Office of) FICA Federal Insurance Contributions Act (established Social Security taxes) FMR Fair market rent
FR Federal Register
FSS Family Self‐Sufficiency (Program)
FY Fiscal year
FYE Fiscal year end
GAO Government Accountability Office
GR Gross rent
HA Housing authority or housing agency
HAP Housing assistance payment
HCV Housing choice voucher
HQS Housing quality standards
HUD Department of Housing and Urban Development
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HUDCLIPS HUD Client Information and Policy System
IPA Independent public accountant
IRA Individual retirement account
IRS Internal Revenue Service
JTPA Job Training Partnership Act
LBP Lead‐based paint
LEP Limited English proficiency
MSA Metropolitan statistical area (established by the U.S. Census Bureau) MTCS Multi‐family Tenant Characteristics System (now the Form HUD‐50058 submodule of the PIC system)
MTW Moving to Work
NOFA Notice of funding availability
OGC HUD's Office of General Counsel
OIG HUD’s Office of Inspector General
OMB Office of Management and Budget
PASS Plan to Achieve Self‐Support
PHA Public housing agency
PIC PIH Information Center
PIH (HUD Office of) Public and Indian Housing
PS Payment standard
QC Quality control
REAC (HUD) Real Estate Assessment Center
RFP Request for proposals
RFTA Request for tenancy approval
RIGI Regional inspector general for investigation (handles fraud and program abuse matters for HUD at the regional office level)
SEMAP Section 8 Management Assessment Program
SRO Single room occupancy
SSA Social Security Administration
SSI Supplemental security income
SWICA State wage information collection agency
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TANF Temporary assistance for needy families
TPV Tenant protection vouchers
TR Tenant rent
TTP Total tenant payment
UA Utility allowance
UFAS Uniform Federal Accessibility Standards
UIV Upfront income verification
URP Utility reimbursement payment
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B. GLOSSARY OF SUBSIDIZED HOUSING TERMS
Absorption. In portability (under subpart H of this part 982): the point at which a receiving PHA stops billing the initial PHA for assistance on behalf of a portability family. The receiving PHA uses funds available under the receiving PHA consolidated ACC.
Accessible. The facility or portion of the facility can be approached, entered, and used by persons with disabilities.
Adjusted income. Annual income, less allowable HUD deductions and allowances.
Administrative fee. Fee paid by HUD to the PHA for administration of the program. See §982.152.
Administrative plan. The plan that describes PHA policies for administration of the tenant‐ based programs. The Administrative Plan and any revisions must be approved by the PHA’s board and included as a supporting document to the PHA Plan. See §982.54.
Admission. The point when the family becomes a participant in the program. The date used for this purpose is the effective date of the first HAP contract for a family (first day of initial lease term) in a tenant‐based program.
Affiliated individual. With respect to an individual, a spouse, parent, brother, sister, or child of that individual, or an individual to whom that individual stands in loco parentis (in the place of a parent), or any individual, tenant, or lawful occupant living in the household of that individual
Amortization payment. In a manufactured home space rental: The monthly debt service payment by the family to amortize the purchase price of the manufactured home.
Annual. Happening once a year.
Annual contributions contract (ACC). The written contract between HUD and a PHA under which HUD agrees to provide funding for a program under the 1937 Act, and the PHA agrees to comply with HUD requirements for the program.
Annual income. The anticipated total income of an eligible family from all sources for the 12‐month period following the date of determination of income, computed in accordance with the regulations.
Applicant (applicant family). A family that has applied for admission to a program but is not yet a participant in the program.
Area exception rent. An amount that exceeds the published FMR. See 24 CFR 982.504(b).
As‐paid states. States where the welfare agency adjusts the shelter and utility component of the welfare grant in accordance with actual housing costs.
Assets. (See net family assets.)
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Auxiliary aids. Services or devices that enable persons with impaired sensory, manual, or speaking skills to have an equal opportunity to participate in, and enjoy the benefits of, programs or activities receiving federal financial assistance.
Biennial. Happening every two years.
Bifurcate. With respect to a public housing or Section 8 lease, to divide a lease as a matter of law such that certain tenants can be evicted or removed while the remaining family members’ lease and occupancy rights are allowed to remain intact.
Budget authority. An amount authorized and appropriated by the Congress for payment to PHAs under the program. For each funding increment in a PHA program, budget authority is the maximum amount that may be paid by HUD to the PHA over the ACC term of the funding increment.
Child. A member of the family other than the family head or spouse who is under 18 years of age.
Child care expenses. Amounts anticipated to be paid by the family for the care of children under 13 years of age during the period for which annual income is computed, but only where such care is necessary to enable a family member to actively seek employment, be gainfully employed, or to further his or her education and only to the extent such amounts are not reimbursed. The amount deducted shall reflect reasonable charges for child care. In the case of child care necessary to permit employment, the amount deducted shall not exceed the amount of employment income that is included in annual income.
Citizen. A citizen or national of the United States.
Cohead. An individual in the household who is equally responsible for the lease with the head of household. A family may have a cohead or spouse but not both. A cohead never qualifies as a dependent. The cohead must have legal capacity to enter into a lease.
Common space. In shared housing, the space available for use by the assisted family and other occupants of the unit.
Computer match. The automated comparison of databases containing records about individuals.
Confirmatory review. An on‐site review performed by HUD to verify the management performance of a PHA.
Consent form. Any consent form approved by HUD to be signed by assistance applicants and participants to obtain income information from employers and SWICAs; return information from the Social Security Administration (including wages, net earnings from self‐ employment, and retirement income); and return information for unearned income from the IRS. Consent forms expire after a certain time and may authorize the collection of other information to determine eligibility or level of benefits.
Congregate housing. Housing for elderly persons or persons with disabilities that meets the HQS for congregate housing. A special housing type: see 24 CFR 982.606–609. 684
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Contiguous MSA. In portability (under subpart H of part 982): An MSA that shares a common boundary with the MSA in which the jurisdiction of the initial PHA is located.
Continuously assisted. An applicant is continuously assisted under the 1937 Act if the family is already receiving assistance under any 1937 Housing Act program when the family is admitted to the voucher program.
Contract authority. The maximum annual payment by HUD to a PHA for a funding increment.
Cooperative (term includes mutual housing). Housing owned by a nonprofit corporation or association, and where a member of the corporation or association has the right to reside in a particular apartment, and to participate in management of the housing. A special housing type (see 24 CFR 982.619).
Covered families. Statutory term for families who are required to participate in a welfare agency economic self‐sufficiency program and who may be subject to a welfare benefit sanction for noncompliance with this obligation. Includes families who receive welfare assistance or other public assistance under a program for which federal, state or local law requires that a member of the family must participate in an economic self‐sufficiency program as a condition for the assistance.
Dating violence. Violence committed by a person who is or has been in a social relationship of a romantic or intimate nature with the victim; and where the existence of such a relationship shall be determined based on a consideration of the following factors:
- The length of the relationship
- The type of relationship
- The frequency of interaction between the persons involved in the relationship Dependent. A member of the family (except foster children and foster adults) other than the family head or spouse, who is under 18 years of age, or is a person with a disability, or is a full‐time student.
Dependent child. In the context of the student eligibility restrictions, a dependent child of a student enrolled in an institution of higher education. The dependent child must also meet the definition of dependent as specified above.
Disability assistance expenses. Reasonable expenses that are anticipated, during the period for which annual income is computed, for attendant care and auxiliary apparatus for a disabled family member, and that are necessary to enable a family member (including the disabled member) to be employed, provided that the expenses are neither paid to a member of the family nor reimbursed by an outside source.
Disabled family. A family whose head, cohead, spouse, or sole member is a person with disabilities; two or more persons with disabilities living together; or one or more persons with disabilities living with one or more live‐in aides.
Disabled person. See person with disabilities.
Disallowance. Exclusion from annual income.
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Displaced family. A family in which each member, or whose sole member, is a person displaced by governmental action, or a person whose dwelling has been extensively damaged or destroyed as a result of a disaster declared or otherwise formally recognized pursuant to federal disaster relief laws.
Domestic violence. Felony or misdemeanor crimes of violence committed by a current or former spouse of the victim, by a person with whom the victim shares a child in common, by a person who is cohabitating with or has cohabitated with the victim as a spouse, by a person similarly situated to a spouse of the victim under the domestic or family violence laws of the jurisdiction receiving grant monies, or by any other person against an adult or youth victim who is protected from that person’s acts under the domestic or family violence laws of the jurisdiction.
Domicile. The legal residence of the household head or spouse as determined in accordance with state and local law.
Drug‐related criminal activity. The illegal manufacture, sale, distribution, or use of a drug, or the possession of a drug with intent to manufacture, sell, distribute, or use the drug.
Economic self‐sufficiency program. Any program designed to encourage, assist, train or facilitate the economic independence of assisted families, or to provide work for such families. Can include job training, employment counseling, work placement, basic skills training, education, English proficiency, Workfare, financial or household management, apprenticeship, or any other program necessary to ready a participant to work (such as treatment for drug abuse or mental health treatment). Includes any work activities as defined in the Social Security Act (42 U.S.C. 607(d)). Also see 24 CFR 5.603(c).
Elderly family. A family whose head, cohead, spouse, or sole member is a person who is at least 62 years of age; two or more persons who are at least 62 years of age living together; or one or more persons who are at least 62 years of age living with one or more live‐in aides.
Elderly person. An individual who is at least 62 years of age.
Eligible family A family that is income eligible and meets the other requirements of the 1937 Act and Part 5 of 24 CFR. See also family.
Employer identification number (EIN). The nine‐digit taxpayer identifying number that is assigned to an individual, trust, estate, partnership, association, company, or corporation.
Evidence of citizenship or eligible status. The documents which must be submitted as evidence of citizenship or eligible immigration status. See 24 CFR 5.508(b).
Extremely low‐income family. A family whose annual income does not exceed the federal poverty level or 30 percent of the median income for the area, whichever number is higher.
Area median income is determined by HUD, with adjustments for smaller and larger families. HUD may establish income ceilings higher or lower than 30 percent of median income if HUD finds such variations are necessary due to unusually high or low family incomes. See 24 CFR 5.603.
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Facility. All or any portion of buildings, structures, equipment, roads, walks, parking lots, rolling stock, or other real or personal property or interest in the property.
Fair Housing Act. Title VIII of the Civil Rights Act of 1968, as amended by the Fair Housing Amendments Act of 1988.
Fair market rent (FMR). The rent, including the cost of utilities (except telephone), as established by HUD for units of varying sizes (by number of bedrooms), that must be paid in the housing market area to rent privately owned, existing, decent, safe, and sanitary rental housing of modest (non‐luxury) nature with suitable amenities. See periodic publications in the Federal Register in accordance with 24 CFR Part 888.
Family. Includes but is not limited to the following, regardless of actual or perceived sexual orientation, gender identity, or marital status, and can be further defined in PHA policy. - A family with or without children (the temporary absence of a child from the home due to placement in foster care is not considered in determining family composition and family size)
- An elderly family or a near‐elderly family
- A displaced family
- The remaining member of a tenant family
- A single person who is not an elderly or displaced person, or a person with disabilities, or the remaining member of a tenant family.
Family rent to owner. In the voucher program, the portion of rent to owner paid by the family.
Family self‐sufficiency program (FSS program). The program established by a PHA in accordance with 24 CFR part 984 to promote self‐sufficiency of assisted families, including the coordination of supportive services (42 U.S.C. 1437u).
Family share. The portion of rent and utilities paid by the family. For calculation of family share, see 24 CFR 982.515(a).
Family unit size. The appropriate number of bedrooms for a family, as determined by the PHA under the PHA subsidy standards.
Federal agency. A department of the executive branch of the federal government.
Foster child care payment. A payment to eligible households by state, local, or private agencies appointed by the state to administer payments for the care of foster children.
Full‐time student. A person who is attending school or vocational training on a full‐time basis (carrying a subject load that is considered full‐time for day students under the standards and practices of the educational institution attended). See 24 CFR 5.603.
Funding increment. Each commitment of budget authority by HUD to a PHA under the consolidated annual contributions contract for the PHA program.
Gender identity. Actual or perceived gender‐related characteristics. 687
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Gross rent. The sum of the rent to owner plus any utility allowance.
Group home. A dwelling unit that is licensed by a state as a group home for the exclusive residential use of two to twelve persons who are elderly or persons with disabilities (including any live‐in aide). (A special housing type: see 24 CFR 982.610–614.) Handicap. Any condition or characteristic that renders a person an individual with handicaps. (See person with disabilities.)
HAP contract. The housing assistance payments contract. A written contract between the PHA and an owner for the purpose of providing housing assistance payments to the owner on behalf of an eligible family.
Head of household. The adult member of the family who is the head of the household for purposes of determining income eligibility and rent.
Household. A household includes additional people other than the family who, with the PHA’s permission, live in an assisted unit, such as live‐in aides, foster children, and foster adults.
Housing assistance payment. The monthly assistance payment by a PHA, which includes: (1) A payment to the owner for rent to the owner under the family's lease; and (2) An additional payment to the family if the total assistance payment exceeds the rent to owner.
Housing agency (HA). See public housing agency.
Housing quality standards (HQS). The HUD minimum quality standards for housing assisted under the voucher program.
HUD. The U.S. Department of Housing and Urban Development.
Imputed asset. An asset disposed of for less than fair market value during the two years preceding examination or reexamination.
Imputed asset income. The PHA‐established passbook rate multiplied by the total cash value of assets. The calculation is used when net family assets exceed $5,000.
Imputed welfare income. An amount of annual income that is not actually received by a family as a result of a specified welfare benefit reduction, but is included in the family’s annual income and therefore reflected in the family’s rental contribution.
Income. Income from all sources of each member of the household, as determined in accordance with criteria established by HUD.
Income for eligibility. Annual income.
Income information means information relating to an individual’s income, including:
- All employment income information known to current or previous employers or other income sources
- All information about wages, as defined in the state's unemployment compensation law, including any social security number; name of the employee; quarterly wages of the employee; and the name, full address, telephone number, and, when known, employer 688
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identification number of an employer reporting wages under a state unemployment compensation law
- Whether an individual is receiving, has received, or has applied for unemployment compensation, and the amount and the period received
- Unearned IRS income and self‐employment, wages, and retirement income - Wage, social security, and supplemental security income data obtained from the Social Security Administration.
Individual with handicaps. See person with disabilities.
Initial PHA. In portability, the term refers to both: (1) A PHA that originally selected a family that later decides to move out of the jurisdiction of the selecting PHA; and (2) A PHA that absorbed a family that later decides to move out of the jurisdiction of the absorbing PHA.
Initial payment standard. The payment standard at the beginning of the HAP contract term.
Initial rent to owner. The rent to owner at the beginning of the HAP contract term.
Institution of higher education. An institution of higher education as defined in 20 U.S.C. 1001 and 1002. See Exhibit 3‐2 in this Administrative Plan.
Jurisdiction. The area in which the PHA has authority under state and local law to administer the program.
Landlord. Either the owner of the property or his/her representative, or the managing agent or his/her representative, as shall be designated by the owner.
Lease. A written agreement between an owner and a tenant for the leasing of a dwelling unit to the tenant. The lease establishes the conditions for occupancy of the dwelling unit by a family with housing assistance payments under a HAP contract between the owner and the PHA.
Live‐in aide. A person who resides with one or more elderly persons, or near‐elderly persons, or persons with disabilities, and who:
- Is determined to be essential to the care and well‐being of the persons; - Is not obligated for the support of the persons; and
- Would not be living in the unit except to provide the necessary supportive services.
Living/sleeping room. A living room may be used as sleeping (bedroom) space, but no more than two persons may occupy the space. A bedroom or living/sleeping room must have at least one window and two electrical outlets in proper operating condition. See HCV GB p. 10‐6 and 24 CFR 982.401.
Local preference. A preference used by the PHA to select among applicant families.
Low‐income family. A family whose income does not exceed 80 percent of the median income for the area as determined by HUD with adjustments for smaller or larger families, except 689
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that HUD may establish income limits higher or lower than 80 percent for areas with unusually high or low incomes.
Manufactured home. A manufactured structure that is built on a permanent chassis, is designed for use as a principal place of residence, and meets the HQS. (A special housing type: see 24 CFR 982.620 and 982.621.)
Manufactured home space. In manufactured home space rental: A space leased by an owner to a family. A manufactured home owned and occupied by the family is located on the space.
See 24 CFR 982.622 to 982.624.
Medical expenses. Medical expenses, including medical insurance premiums that are anticipated during the period for which annual income is computed, and that are not covered by insurance (a deduction for elderly or disabled families only). These allowances are given when calculating adjusted income for medical expenses in excess of 3 percent of annual income.
Minor. A member of the family household other than the family head or spouse, who is under 18 years of age.
Mixed family. A family whose members include those with citizenship or eligible immigration status, and those without citizenship or eligible immigration status.
Monthly adjusted income. One twelfth of adjusted income.
Monthly income. One twelfth of annual income.
Mutual housing. Included in the definition of cooperative.
National. A person who owes permanent allegiance to the United States, for example, as a result of birth in a United States territory or possession.
Near‐elderly family. A family whose head, spouse, or sole member is a person who is at least 50 years of age but below the age of 62; or two or more persons, who are at least 50 years of age but below the age of 62, living together; or one or more persons who are at least 50 years of age but below the age of 62 living with one or more live‐in aides. 690
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Net family assets. (1) Net cash value after deducting reasonable costs that would be incurred in disposing of real property, savings, stocks, bonds, and other forms of capital investment, excluding interests in Indian trust land and excluding equity accounts in HUD homeownership programs. The value of necessary items of personal property such as furniture and automobiles shall be excluded.
- In cases where a trust fund has been established and the trust is not revocable by, or under the control of, any member of the family or household, the value of the trust fund will not be considered an asset so long as the fund continues to be held in trust. Any income distributed from the trust fund shall be counted when determining annual income under §5.609.
- In determining net family assets, PHAs or owners, as applicable, shall include the value of any business or family assets disposed of by an applicant or tenant for less than fair market value (including a disposition in trust, but not in a foreclosure or bankruptcy sale) during the two years preceding the date of application for the program or reexamination, as applicable, in excess of the consideration received therefore. In the case of a disposition as part of a separation or divorce settlement, the disposition will not be considered to be for less than fair market value if the applicant or tenant receives important consideration not measurable in dollar terms.
Noncitizen. A person who is neither a citizen nor national of the United States.
Notice of funding availability (NOFA). For budget authority that HUD distributes by competitive process, the Federal Register document that invites applications for funding.
This document explains how to apply for assistance and the criteria for awarding the funding.
Office of General Counsel (OGC). The General Counsel of HUD.
Overcrowded. A unit that does not meet the following HQS space standards: (1) Provide adequate space and security for the family; and (2) Have at least one bedroom or living/sleeping room for each two persons.
Owner. Any person or entity with the legal right to lease or sublease a unit to a participant.
PHA Plan. The annual plan and the 5‐year plan as adopted by the PHA and approved by HUD. 691
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PHA’s quality control sample. An annual sample of files or records drawn in an unbiased manner and reviewed by a PHA supervisor (or by another qualified person other than the person who performed the original work) to determine if the work documented in the files or records conforms to program requirements. For minimum sample size see CFR 985.3.
Participant (participant family). A family that has been admitted to the PHA program and is currently assisted in the program. The family becomes a participant on the effective date of the first HAP contract executed by the PHA for the family (first day of initial lease term).
Payment standard. The maximum monthly assistance payment for a family assisted in the voucher program (before deducting the total tenant payment by the family).
Person with disabilities. For the purposes of program eligibility. A person who has a disability as defined under the Social Security Act or Developmental Disabilities Care Act, or a person who has a physical or mental impairment expected to be of long and indefinite duration and whose ability to live independently is substantially impeded by that impairment but could be improved by more suitable housing conditions. This includes persons with AIDS or conditions arising from AIDS but excludes persons whose disability is based solely on drug or alcohol dependence. For the purposes of reasonable accommodation. A person with a physical or mental impairment that substantially limits one or more major life activities, a person regarded as having such an impairment, or a person with a record of such an impairment.
Portability. Renting a dwelling unit with a Section 8 housing choice voucher outside the jurisdiction of the initial PHA.
Premises. The building or complex in which the dwelling unit is located, including common areas and grounds.
Previously unemployed. With regard to the earned income disallowance, a person with disabilities who has earned, in the 12 months previous to employment, no more than would be received for 10 hours of work per week for 50 weeks at the established minimum wage.
Private space. In shared housing, the portion of a contract unit that is for the exclusive use of an assisted family.
Processing entity. The person or entity that, under any of the programs covered, is responsible for making eligibility and related determinations and any income reexamination. In the HCV program, the “processing entity” is the “responsible entity.” Project owner. The person or entity that owns the housing project containing the assisted dwelling unit.
Public assistance. Welfare or other payments to families or individuals, based on need, which are made under programs funded, separately or jointly, by federal, state, or local governments.
Public housing agency (PHA). Any state, county, municipality, or other governmental entity or public body, or agency or instrumentality of these entities, that is authorized to engage or assist in the development or operation of low‐income housing under the 1937 Act. 692
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Qualified family (under the earned income disallowance). A family participating in an applicable assisted housing program or receiving HCV assistance:
‐ Whose annual income increases as a result of employment of a family member who is a person with disabilities and who was previously unemployed for one or more years prior to employment;
‐ Whose annual income increases as a result of increased earnings by a family member who is a person with disabilities during participation in any economic self‐sufficiency or other job training program; or
‐ Whose annual income increases, as a result of new employment or increased earnings of a family member who is a person with disabilities, during or within six months after receiving assistance, benefits or services under any state program for temporary assistance for needy families funded under Part A of Title IV of the Social Security Act, as determined by the responsible entity in consultation with the local agencies administering temporary assistance for needy families (TANF) and Welfare‐to‐Work (WTW) programs.
The TANF program is not limited to monthly income maintenance, but also includes such benefits and services as one‐time payments, wage subsidies and transportation assistance‐‐ provided that the total amount over a six‐month period is at least $500.
Qualified census tract. With regard to certain tax credit units, any census tract (or equivalent geographic area defined by the Bureau of the Census) in which at least 50 percent of households have an income of less than 60 percent of Area Median Gross Income (AMGI), or where the poverty rate is at least 25 percent, and where the census tract is designated as a qualified census tract by HUD.
Reasonable rent. A rent to owner that is not more than rent charged: (1) For comparable units in the private unassisted market; and (2) For comparable unassisted units in the premises.
Reasonable accommodation. A change, exception, or adjustment to a rule, policy, practice, or service to allow a person with disabilities to fully access the PHA’s programs or services.
Receiving PHA. In portability: A PHA that receives a family selected for participation in the tenant‐based program of another PHA. The receiving PHA issues a voucher and provides program assistance to the family.
Recertification. Sometimes called reexamination. The process of securing documentation of total family income used to determine the rent the tenant will pay for the next 12 months if there are no additional changes to be reported.
Remaining member of the tenant family. The person left in assisted housing who may or may not normally qualify for assistance on their own circumstances (i.e., an elderly spouse dies, leaving widow age 47 who is not disabled).
Rent to owner. The total monthly rent payable to the owner under the lease for the unit (also known as contract rent). Rent to owner covers payment for any housing services, maintenance, and utilities that the owner is required to provide and pay for. 693
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Residency preference. A PHA preference for admission of families that reside anywhere in a specified area, including families with a member who works or has been hired to work in the area (See residency preference area).
Residency preference area. The specified area where families must reside to qualify for a residency preference.
Responsible entity. For the public housing and the Section 8 tenant‐based assistance, project‐ based voucher assistance, and moderate rehabilitation programs, the responsible entity means the PHA administering the program under an ACC with HUD. For all other Section 8 programs, the responsible entity means the Section 8 owner.
Secretary. The Secretary of Housing and Urban Development.
Section 8. Section 8 of the United States Housing Act of 1937.
Section 8 covered programs. All HUD programs which assist housing under Section 8 of the 1937 Act, including Section 8 assisted housing for which loans are made under Section 202 of the Housing Act of 1959.
Section 214. Section 214 of the Housing and Community Development Act of 1980, as amended.
Section 214 covered programs. The collective term for the HUD programs to which the restrictions imposed by Section 214 apply. These programs are set forth in 24 CFR 5.500.
Security deposit. A dollar amount (maximum set according to the regulations) which can be used for unpaid rent or damages to the owner upon termination of the lease.
Set‐up charges. In a manufactured home space rental, charges payable by the family for assembling, skirting, and anchoring the manufactured home.
Sexual assault. Any nonconsensual sexual act proscribed by federal, tribal, or state law, including when the victim lacks capacity to consent (42 U.S.C. 13925(a)).
Sexual orientation. Homosexuality, heterosexuality or bisexuality.
Shared housing. A unit occupied by two or more families. The unit consists of both common space for shared use by the occupants of the unit and separate private space for each assisted family. (A special housing type: see 24 CFR 982.615–982.618.) Single person. A person living alone or intending to live alone.
Single room occupancy housing (SRO). A unit that contains no sanitary facilities or food preparation facilities, or contains either, but not both, types of facilities. (A special housing type: see 24 CFR 982.602–982.605.)
Social security number (SSN). The nine‐digit number that is assigned to a person by the Social Security Administration and that identifies the record of the person’s earnings reported to the Social Security Administration. The term does not include a number with a letter as a suffix that is used to identify an auxiliary beneficiary. 694
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Special admission. Admission of an applicant that is not on the PHA waiting list or without considering the applicant’s waiting list position.
Special housing types. See subpart M of part 982. Subpart M states the special regulatory requirements for: SRO housing, congregate housing, group homes, shared housing, cooperatives (including mutual housing), and manufactured homes (including manufactured home space rental).
Specified welfare benefit reduction. Those reductions of welfare benefits (for a covered family) that may not result in a reduction of the family rental contribution. A reduction of welfare benefits because of fraud in connection with the welfare program, or because of welfare sanction due to noncompliance with a welfare agency requirement to participate in an economic self‐sufficiency program.
Southern Santa Barbara County: Southern Santa Barbara County encompasses the following cities: Carpinteria, Montecito, Santa Barbara, and Goleta. It is further defined by the following census tracts: 1.01, 1.02, 1.03, 2.00, 3.01, 3.02, 4.00, 5.01, 5.02, 6.00, 7.00, 8.01,
8.04, 9.00, 10.00, 11.01, 11.02, 12.03, 12.06, 12.08, 13.04, 13.06, 14.02, 15.00, 16.01, 16.04,
17.04, 17.06, 29.06, 29.07, 29.09, 29.13, 29.14, 29.15, 29.22, 29.24, 29.26, 29.28, 29.30,
29.32, 30.01, 30.04, 30.05, and 30.07.
Spouse. The marriage partner of the head of household.
Stalking. To follow, pursue, or repeatedly commit acts with the intent to kill, injure, harass, or intimidate; or to place under surveillance with the intent to kill, injure, harass, or intimidate another person; and in the course of, or as a result of, such following, pursuit, surveillance, or repeatedly committed acts, to place a person in reasonable fear of the death of, or serious bodily injury to, or to cause substantial emotional harm to (1) that person, (2) a member of the immediate family of that person, or (3) the spouse or intimate partner of that person.
State wage information collection agency (SWICA). The state agency, including any Indian tribal agency, receiving quarterly wage reports from employers in the state, or an alternative system that has been determined by the Secretary of Labor to be as effective and timely in providing employment‐related income and eligibility information.
Subsidy standards. Standards established by a PHA to determine the appropriate number of bedrooms and amount of subsidy for families of different sizes and compositions.
Suspension. The term on the family’s voucher stops from the date the family submits a request for PHA approval of the tenancy, until the date the PHA notifies the family in writing whether the request has been approved or denied. This practice is also called tolling.
Tax credit rent. With regard to certain tax credit units, the rent charged for comparable units of the same bedroom size in the building that also receive the low‐income housing tax credit but do not have any additional rental assistance (e.g., tenant‐based voucher assistance).
Tenancy addendum. For the housing choice voucher program, the lease language required by HUD in the lease between the tenant and the owner.
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Tenant. The person or persons (other than a live‐in aide) who executes the lease as lessee of the dwelling unit.
Tenant rent to owner. See family rent to owner.
Term of lease. The amount of time a tenant agrees in writing to live in a dwelling unit.
Total tenant payment (TTP). The total amount the HUD rent formula requires the tenant to pay toward rent and utilities.
Unit. Residential space for the private use of a family. The size of a unit is based on the number of bedrooms contained within the unit and generally ranges from zero (0) bedrooms to six (6) bedrooms.
Utilities. Water, electricity, gas, other heating, refrigeration, cooking fuels, trash collection, and sewage services. Telephone service is not included.
Utility allowance. If the cost of utilities (except telephone) and other housing services for an assisted unit is not included in the tenant rent but is the responsibility of the family occupying the unit, an amount equal to the estimate made or approved by a PHA or HUD of the monthly cost of a reasonable consumption of such utilities and other services for the unit by an energy‐conservative household of modest circumstances consistent with the requirements of a safe, sanitary, and healthful living environment.
Utility reimbursement. In the voucher program, the portion of the housing assistance payment which exceeds the amount of rent to owner.
Utility hook‐up charge. In a manufactured home space rental: Costs payable by a family for connecting the manufactured home to utilities such as water, gas, electrical and sewer lines.
Very low‐income family. A low‐income family whose annual income does not exceed 50 percent of the median income for the area, as determined by HUD, with adjustments for smaller and larger families. HUD may establish income limits higher or lower than 50 percent of the median income for the area on the basis of its finding that such variations are necessary because of unusually high or low family incomes. This is the income limit for the housing choice voucher program.
Veteran. A person who has served in the active military or naval service of the United States at any time and who shall have been discharged or released therefrom under conditions other than dishonorable.
Violence Against Women Reauthorization Act (VAWA) of 2013. Prohibits denying admission to the program to an otherwise qualified applicant or terminating assistance on the basis that the applicant or program participant is or has been a victim of domestic violence, dating violence, sexual assault, or stalking.
Violent criminal activity. Any illegal criminal activity that has as one of its elements the use, attempted use, or threatened use of physical force against the person or property of another.
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Voucher (housing choice voucher). A document issued by a PHA to a family selected for admission to the housing choice voucher program. This document describes the program and the procedures for PHA approval of a unit selected by the family. The voucher also states obligations of the family under the program.
Voucher holder. A family holding a voucher with an unexpired term (search time).
Voucher program. The housing choice voucher program.
Waiting list. A list of families organized according to HUD regulations and PHA policy who are waiting for a unit to become available.
Waiting list admission. An admission from the PHA waiting list.
Welfare assistance. Income assistance from federal or state welfare programs, including assistance provided under TANF and general assistance. Does not include assistance directed solely to meeting housing expenses, nor programs that provide health care, child care or other services for working families. For the FSS program (984.103(b)), welfare assistance includes only cash maintenance payments from federal or state programs designed to meet a family’s ongoing basic needs, but does not include food stamps, emergency rental and utilities assistance, SSI, SSDI, or social security. 697
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